ASIC Market Integrity Rules (ASX Market) 2010 - LexisNexis

LexisNexis ASIC Market Integrity Rules (ASX Market) 2010(2) For the purposes of subrule (1), the Market Participant may satisfy the obligationspecified in column 1 of the following table by relying on records maintained by the MarketOperator in the circumstances specified in column 2 of the following table:Column 1:A Market Participant may satisfy the obligation:under paragraph 4.1.1(2)(g) to maintain records ofthe name of the DTR who entered a TradingMessage into the Trading Platformunder paragraph 4.1.1(2)(h) to maintain records ofthe time of the Trading Messageunder paragraph 4.1.1(2)(i) to maintain records ofthe date and time that a Trading Message gives riseto a Market Transactionunder subparagraph 4.1.2(2)(a)(i) to maintainrecords of the name of a person who made thedecision, where that person is the DTR who enteredthe Trading Messageunder subparagraph 4.1.2(2)(a)(ii) to maintainrecords of the Financial Products to be bought orsoldunder subparagraph 4.1.2(2)(a)(iii) to maintainrecords of the number of Financial Products to bebought or soldunder subparagraph 4.1.2(2)(a)(iv) to maintainrecords of price-related decisions to enter into aMarket Transactionunder paragraph 4.1.2(2)(b) to maintain records ofan amendment to a Trading Messageunder paragraph 4.1.2(2)(d) to maintain records ofthe name of the DTR who entered the TradingMessageunder paragraph 4.1.2(2)(e) to maintain records ofthe time of a Trading Messageunder paragraph 4.1.2(2)(f) to maintain records ofthe time that a Trading Message gives rise to aMarket TransactionColumn 2:by relying on records maintained by the MarketOperator in the following circumstances:where the DTR identifier is contained in the TradingMessage and recorded by the Trading Platform (theDTR who entered the Trading Message being taken tobe the DTR whose identifier is so recorded)where the Trading Platform records the time theTrading Message was entered into the Trading Platformwhere the Trading Platform records the date and timeof effecting of the Market Transactionwhere the DTR identifier is contained in the TradingMessage and recorded by the Trading Platform (theperson who made the decision being taken to be theDTR whose identifier is so recorded)where the Financial Products are entered into theTrading Platform for the particular Trading Message(which are taken to be the Financial Products decidedor instructed to be bought or sold)where the number of Financial Products is entered intothe Trading Platform for the particular Trading Message(which is taken to be the number of Financial Productsdecided or instructed to be bought or sold)where the price is entered into the Trading Platform forthe particular Trading Message (which is taken to bethe price at which the Financial Products are decided orinstructed to be bought or sold)where the particulars of the Trading Message areentered into the Trading Platformwhere the DTR identifier is contained in the TradingMessage and recorded by the Trading Platform (theDTR who entered the Trading Message being taken tobe the DTR whose identifier is so recorded)where the Trading Platform records the time theTrading Message was entered into the Trading Platformwhere the Trading Platform records the time of effectingof the Market TransactionNote: There is no penalty for this Rule.Copyright Australian Securities and Investments Commission. Reproduced with permission.